HUB International
Chief Compliance Officer, Retirement & Private Wealth
HUB International, San Francisco, California, United States, 94199
Chief Compliance Officer, Retirement & Private Wealth
Apply now for the
Chief Compliance Officer, Retirement & Private Wealth
role at
HUB International .
About Us At
HUB International , we are a team of entrepreneurs who protect and support the aspirations of individuals, families, and businesses. We help clients evaluate their risks and develop tailored solutions, empowering employees to learn, grow, and make a difference. Our global presence and regional cultures are supported by corporate centers of excellence. HUB is one of the largest global insurance and employee benefits brokers, offering a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth products. With over $5 billion in revenue and nearly 20,000 employees in 600 offices across North America, HUB has grown substantially, in part due to industry-leading success in mergers and acquisitions.
Job Summary The
Chief Compliance Officer
for Retirement and Private Wealth will assist the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment adviser and FINRA compliance policies and procedures. Key duties include conducting mandatory SEC annual risk assessments, enforcing the Code of Ethics, and identifying, recommending, and implementing compliance efficiencies to enhance day‑to‑day SEC compliance.
Responsibilities
Aid in administering and following up on the firm’s Code of Ethics and other policies designed to prevent violations of federal securities laws.
Conduct ongoing compliance reviews, internal investigations, and surveillance to evaluate and test adherence to SEC rules, regulations, and internal policies.
Recommend actionable plans for correcting material compliance weaknesses.
Keep up‑to‑date on new regulatory requirements and communicate best practices to staff.
Prepare an annual written report to leadership on the operation, adequacy, and effectiveness of policies and procedures supporting Rule 206(4)-7.
Oversee email surveillance, personal trade reviews, and marketing material reviews.
Develop and support SEC compliance training and education initiatives for RPW RIAs.
Assist in documenting collections for internal and external examinations by auditors and regulators.
Respond to RPW business inquiries and requests.
Lead ad‑hoc regulatory projects and other requirements as necessary.
Compliance Operational Responsibilities
Manage the annual ADV process, including data collection and completion of ADV forms.
Participate in investment due diligence for SEC compliance and/or operational reviews as needed.
Requirements
Juris Doctor (JD) degree and strong understanding of corporate governance, compliance, and strategic business initiatives.
10+ years of senior SEC regulatory compliance experience in a large financial services firm or in‑house legal team.
Experience leading a team and preferably leading a function as the senior leader.
Solid familiarity with investment adviser business activities.
Experience developing, monitoring, and enforcing appropriate policies and procedures.
Ability to confront difficult issues and challenge others when necessary.
Excellent verbal and written communication skills, particularly the ability to clearly communicate technically complex SEC regulatory developments in actionable ways.
Ability to meet tight deadlines and prioritize a varied workload in a fast‑paced environment.
Public speaking, oral presentation, and written skills are a plus.
Strong negotiating and conflict‑resolution skills.
Collegial and collaborative approach to building strong professional relationships both internally and externally.
Outstanding organizational skills, including prioritization and follow‑up.
Join Our Team Do you believe in innovation, collaboration, and transformation? Thrive in a supportive, client‑focused environment? Join HUB International to help build and drive change in a rapidly growing organization. You will be part of a community of learners and doers focused on our core values: entrepreneurship, teamwork, integrity, accountability, and service.
Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington: The expected salary range for this position is $160,000 to $180,000 and may be impacted by the candidate’s skills, experience, and location. HUB International offers comprehensive benefits, including health/dental/vision/life/disability insurance, FSA, HSA, 401(k) accounts, paid‑time‑off, bonuses, equity, and commissions for some positions.
Department Legal Required Experience: 10–15 years of relevant experience Required Travel: Up to 25% Required Education: Bachelor’s degree (4‑year degree)
Legal and Accessibility HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race, ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or veteran status.
We endeavor to make this website accessible to all users. For assistance with the application process or accessibility requests, contact the recruiting team at HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only.
#J-18808-Ljbffr
Chief Compliance Officer, Retirement & Private Wealth
role at
HUB International .
About Us At
HUB International , we are a team of entrepreneurs who protect and support the aspirations of individuals, families, and businesses. We help clients evaluate their risks and develop tailored solutions, empowering employees to learn, grow, and make a difference. Our global presence and regional cultures are supported by corporate centers of excellence. HUB is one of the largest global insurance and employee benefits brokers, offering a boundaryless array of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth products. With over $5 billion in revenue and nearly 20,000 employees in 600 offices across North America, HUB has grown substantially, in part due to industry-leading success in mergers and acquisitions.
Job Summary The
Chief Compliance Officer
for Retirement and Private Wealth will assist the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment adviser and FINRA compliance policies and procedures. Key duties include conducting mandatory SEC annual risk assessments, enforcing the Code of Ethics, and identifying, recommending, and implementing compliance efficiencies to enhance day‑to‑day SEC compliance.
Responsibilities
Aid in administering and following up on the firm’s Code of Ethics and other policies designed to prevent violations of federal securities laws.
Conduct ongoing compliance reviews, internal investigations, and surveillance to evaluate and test adherence to SEC rules, regulations, and internal policies.
Recommend actionable plans for correcting material compliance weaknesses.
Keep up‑to‑date on new regulatory requirements and communicate best practices to staff.
Prepare an annual written report to leadership on the operation, adequacy, and effectiveness of policies and procedures supporting Rule 206(4)-7.
Oversee email surveillance, personal trade reviews, and marketing material reviews.
Develop and support SEC compliance training and education initiatives for RPW RIAs.
Assist in documenting collections for internal and external examinations by auditors and regulators.
Respond to RPW business inquiries and requests.
Lead ad‑hoc regulatory projects and other requirements as necessary.
Compliance Operational Responsibilities
Manage the annual ADV process, including data collection and completion of ADV forms.
Participate in investment due diligence for SEC compliance and/or operational reviews as needed.
Requirements
Juris Doctor (JD) degree and strong understanding of corporate governance, compliance, and strategic business initiatives.
10+ years of senior SEC regulatory compliance experience in a large financial services firm or in‑house legal team.
Experience leading a team and preferably leading a function as the senior leader.
Solid familiarity with investment adviser business activities.
Experience developing, monitoring, and enforcing appropriate policies and procedures.
Ability to confront difficult issues and challenge others when necessary.
Excellent verbal and written communication skills, particularly the ability to clearly communicate technically complex SEC regulatory developments in actionable ways.
Ability to meet tight deadlines and prioritize a varied workload in a fast‑paced environment.
Public speaking, oral presentation, and written skills are a plus.
Strong negotiating and conflict‑resolution skills.
Collegial and collaborative approach to building strong professional relationships both internally and externally.
Outstanding organizational skills, including prioritization and follow‑up.
Join Our Team Do you believe in innovation, collaboration, and transformation? Thrive in a supportive, client‑focused environment? Join HUB International to help build and drive change in a rapidly growing organization. You will be part of a community of learners and doers focused on our core values: entrepreneurship, teamwork, integrity, accountability, and service.
Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington: The expected salary range for this position is $160,000 to $180,000 and may be impacted by the candidate’s skills, experience, and location. HUB International offers comprehensive benefits, including health/dental/vision/life/disability insurance, FSA, HSA, 401(k) accounts, paid‑time‑off, bonuses, equity, and commissions for some positions.
Department Legal Required Experience: 10–15 years of relevant experience Required Travel: Up to 25% Required Education: Bachelor’s degree (4‑year degree)
Legal and Accessibility HUB International Limited is an equal opportunity employer that does not discriminate on the basis of race, ethnicity, national origin, religion, age, color, sex, sexual orientation, gender identity, disability, or veteran status.
We endeavor to make this website accessible to all users. For assistance with the application process or accessibility requests, contact the recruiting team at HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only.
#J-18808-Ljbffr